I. Procedures: A. Filing A Complaint 1. A complaint under this Policy can be verbalized, if the need is urgent, however, all complaints must be made in writing and signed by the complainant, and submitted to the Employee Relations Officer/Affirmative Action Officer (ERO/AAO) or the Personnel Analyst II/Affirmative Action Officer (PA/AAO) within 30 calendar days after the alleged violation. The complaint must include a detailed statement of the known facts out of which the complaint arises, a request for specific relief, and the names and contact information for any witnesses to the incidents mentioned in the complaint. 2. Where a complaint is not filed in a timely manner, the ERO/AAO or PA/AAO may determine that special circumstances exist that excuse the delay, and consider the complaint as timely filed. In instances involving a complaint against the ERO/AAO, the complaint shall be filed with the County Attorney. In instances involving a complaint against the PA/AAO, the complaint shall be filed with the ERO/AAO. B. Voluntary Mediation Process Procedure 1. After receipt of the complaint, the initial consultation and prior to beginning an investigation, the ERO/AAO or PA/AAO will advise the complainant that voluntary mediation or conciliation of a complaint is available should the complainant so desire. If the complainant chooses to pursue this course, and the person charged with discrimination/harassment agrees, the EEOERO/AAO or PA/AAO shall suspend the formal complaint procedure for up to 60 days (which can be extended with the written consent of all parties) to permit mediation to take place. 2. The ERO/AAO or PA/AAO shall serve as the mediator. At any time, any of the parties to the complaint, or the person serving as mediator may terminate mediation efforts through notice to the appropriate ERO/AAO or PA/AAO. Upon receipt of such notification, the ERO/AAO or PA/AAO will notify all of the parties and may proceed with the formal investigation, if such a step is deemed warranted by the mediator. 3. If the complaint is successfully mediated, the ERO/AAO or PA/AAO will prepare a Mediation Agreement, describing the terms agreed upon by both parties. The complaining party and the charged party will be expected to read and sign the Mediation Agreement, which will state that both parties agree 1
that the dispute is fully and finally resolved, subject to the parties compliance with any stipulated commitments. 4. In the event that either party fails to comply with the commitments or conditions contained in the Mediation Agreement, the other party may seek the intervention of the ERO/AAO or PA/AAO, who may contact the party s supervisor to assist with enforcement, or institute an investigation of the underlying complaint. C. Mediation Record The Human Resources Department will not retain any written record of the mediation process except the original complaint and the Mediation Agreement. The Mediation Agreement may be used as evidence in subsequent investigations and hearings related to similar charges of discrimination/harassment filed against the charged party. The charged party will be informed of this fact before signing the Mediation Agreement. The Human Resources Department will discard all other documents and notes as soon as the mediation process has been concluded. D. Unsuccessful Mediation If either party is dissatisfied with the outcome of the mediation process, or if either party decides to terminate the mediation process, the ERO/AAO or PA/AAO will initiate a formal investigation of the original allegation(s). The investigation and mediation processes will be separate and distinct from one another and statements made, or records submitted, in the mediation process, other than the original statement of complaint and the Mediation Agreement, will not automatically be introduced into the investigation process. E. Investigation 1. After the initial consultation, the ERO/AAO or PA/AAO will determine whether the conduct complained of falls within the scope of this Policy and, if voluntary mediation is refused, will conduct a confidential investigation. The investigation will be initiated as soon as possible, consistent with resource availability, and will afford both the complainant and the accused an opportunity to be heard. 2. An accused individual will be notified of the complaint allegations and the identity of the complainant. 3. Any person who reports or complains; participates in an inquiry or investigation; or is accused of discrimination/harassment, will 2
have the right to be accompanied by an individual of his/her choice from with the Jefferson County Commission community, who will be permitted to attend, but not otherwise participate in, the proceeding. (the individual accompanying the participant must use his/her off-time). 4. The supervisor will be required to cooperate fully with the Human Resources Department in the investigation and resolution of complaints under this Policy. F. Determinations 1. The outcome of an investigation may be a finding that the allegations are unwarranted or could not be substantiated; a negotiated settlement; or a finding that the allegations are substantiated and, if so, recommendations to the appropriate County official(s) regarding corrective or disciplinary action. The standard of proof for administrative proceedings is that of a preponderance of evidence that is, evidence which, as a whole, shows that the fact sought to be proved is more probable than not. 2. The ERO/AAO or PA/AAO will communicate the final disposition of the complaint to all parties. The recommended sanctions will be formally imposed by the appropriate County official. G. Sanctions Sanctions imposed on those individuals who have been found to be in violation of the County s discrimination/harassment policies shall be commensurate with the frequency and severity of the conduct and adequate and sufficient to demonstrate the County s commitment to taking strong and effective measures to both remedy and prevent the conduct. The sanctions may involve, among others, any of the following, singular or in combination; a requirement not to repeat or continue the discriminatory, harassing conduct; an oral or written reprimand; reassignment, suspension or separation from the County. Discipline will be enforced against any employee engaging in illegal discrimination/harassment and against any supervisory personnel who knowingly permit the activity or behavior to continue. II. Filing An Appeal: A. Either the Complainant or the Charged Party may file an appeal of any decision concerning the resolution of the complaint. An appeal by either party must be made, in writing, to the Human Resources 3
Director within 15 business days of receipt of the notice of the resolution/disciplinary decision. B. The written appeal must state, in detail, the reason(s) for the appeal and shall address one or more of the following: 1. If the appeal alleges that the findings of the investigator included relevant factual errors or omitted relevant facts, the appeal shall specify each and every factual error and or details of each and every relevant fact which was omitted from the investigation. 2. If the appeal alleges substantive procedural errors, the person appealing shall identify each and every instance of said substantive procedural error. 3. If the appeal alleges relevant or substantive issues or questions concerning interpretation of County policy, the person appealing shall state, in detail, the issues/questions supporting this allegation. 4. If the appeal alleges new information or evidence, the person appealing shall specify the reason why this information was not available or provided to the investigator during the course of the investigation, including the reason(s) why the information could not have been provided on a timely basis. 5. If the appeal alleges either that action(s) or inaction of the supervisor, in response to the findings of the investigation, will not prevent future violations of this Policy, the person appealing shall specify, in detail, the reason(s) and basis for this belief/allegation. No disciplinary or other action based upon the original complaint findings shall be taken against the alleged offender during the appeal process, although temporary, interim measures may remain in place. C. The Human Resources Director shall respond to the appeal within 30 business days. The Human Resources Director shall be the designee of the Jefferson County Commission to hear appeals on such matters. III. Interim Actions During An Investigation: In some cases, the alleged conduct specified in a complaint may be such that to protect the complainant or other members of the Jefferson County Commission community, the County may, in its discretion, elect to place the alleged offender on administrative leave with pay, or may implement a temporary reassignment. This leave or reassignment will generally remain in effect for the duration of the complaint investigation process. 4
IV. Other Internal Or External Resolution Procedures: An individual who believes that she/he has been subjected to unlawful discrimination or harassment has the right to file a complaint with an appropriate local, state or federal agency or a court with proper jurisdiction. In the event that a complaint is filed with an external agency or court, or pursued through a different process (i.e. Personnel Board Grievance Process), the County reserves the right to determine, in its discretion whether the County s complaint resolution procedures described above should be 1) discontinued; or 2) continued separately. The County will make such determination to achieve fairness and consistency in the resolution of complaints and to ensure efficient use of internal administrative resources. V. Investigator Conflict Of Interest: The complainant and/or the alleged offender might allege that the investigator has a substantial conflict of interest which might impair her/his ability to conduct a fair and impartial investigation of the allegations. In that event, details supporting the alleged conflict of interest must be submitted, in writing, to the Human Resources Director. These details must be submitted within five (5) business days of the date that the person alleging the conflict has notice of the investigator s identity. The Human Resources Director will determine whether a conflict may exist and, if so, an alternative investigator will be appointed as expeditiously as possible. In the event that a request is made and the alternate investigator must be appointed, any specific time line provided for in the complaint procedure shall be suspended pending the determination and/or appointment. VI. Confidentiality: A. The County shall protect the confidentiality of the identities of, and statements made by, the parties and witnesses involved in a discrimination/harassment report or complaint to the extent permitted by law and the extent that continued protection does not interfere with the County s ability to investigate allegations of misconduct brought to its attention and to take corrective action. In addition, all that participate in any part of the investigation will be expected not to reveal any information, either shared or learned, during the course of these proceedings. Despite these measures, however, the County cannot and does not guarantee that parties and witnesses will maintain confidentiality. 5
B. Confidentiality does not mean that the details of the complaint will be withheld from the charged party, or that the County is constrained from divulging the proceedings in appropriate circumstances. For example, the county may publicly divulge details of the outcome if one of the parties discloses selective or self-serving portions of the proceedings, or when a lawsuit emerges where the complainant or charged party contests the findings or results of the County s investigation. VII. Non-Retaliation: Retaliation against an individual who, in good faith, reports, complains about or participates in an investigation of an allegation of discrimination/harassment is prohibited by the County and by federal law. VIII. Anonymous Complaint: Jefferson County Commission is not obligated to initiate an investigation or take any action against an individual as the result of an anonymous complaint. Additional Information: Inquiries regarding the Anti-Harassment Policy or these procedures can be directed to the ERO/AAO or PA/AAO, Human Resources, Room A610 325-5249. 6